E DRMS

Queensland State Archives
Guideline for the planning of an electronic Document and Records Management System (eDRMS)
August 2010
Document details
Security Classification Authority Author Document Status Version PUBLIC Queensland State Archives Queensland State Archives Final Version Version 1.1
Contact for enquiries

All enquiries regarding this document should be directed to: Manager, Policy and Research Unit Queensland State Archives 07 3131 7777 info@archives.qld.gov.au www.archives.qld.gov.au
Copyright
Guideline for the planning of an electronic Document and Records Management System (eDRMS) The State of Queensland (Department of Public Works) 2010
Licence
Guideline for the planning of an electronic Document and Records Management System (eDRMS) by Queensland State Archives is licensed under a Creative Commons Attribution 2.5 Australia Licence. To view a copy of this licence, visit http://creativecommons.org/licenses/by/2.5/au.
Information security
This document has been security classified using the Queensland Government Information Security Classification Framework (QGISCF) as PUBLIC and will be managed according to the requirements of the QGISCF.
Table of Contents
1. Introduction ....................................................................................................... 2
1.1. 1.2. 1.3. 1.4. 1.5. 1.6. Background Audience Authority Scope Definitions Acknowledgements 2 2 2 3 3 3
2.
What is an eDRMS? .......................................................................................... 4

2.1. Examples of Generic Functional Requirements for an eDRMS 5
3.
Records management prerequisites for an eDRMS implementation ........... 7

3.1. 3.2. 3.3. 3.4. 3.5. Organisational information management and records management strategies, standards, policies and procedures Recordkeeping awareness and culture A functional Business Classification Scheme An authorised Retention and Disposal Schedule Recordkeeping metadata
7 8 9 11 13
4.
Key issues when planning eDRMS implementation .................................... 15

4.1. 4.2. 4.3. 4.4. 4.5. 4.6. 4.7. 4.8. 4.9. Business need and benefits Scope of the program Senior sponsorship and clearly defined roles and responsibilities Selecting the right software product Project approach Stakeholder engagement and change management eDRMS policies, procedures, rules and requirements Training Beyond implementation 15 16 17 18 19 19 20 20 21
5.
Appendix A: Glossary.................................................................................... 22
1. Introduction
1.1. Background
Many Queensland public authorities are exploring the implementation of an electronic Document and Records Management System (eDRMS) to assist in the management of paper and electronic records and documents. Benefits of implementing an eDRMS can include: the secure and systematic management of unstructured or semi-structured data such as emails and documents a reduction in redundancy and duplication of information a reduced risk of not being able to retrieve information when required improved security, thereby reducing the risk of unauthorised access greater ability to discover and re-use corporate information better control of document versions, and a reduction in the response time for information requests.
Like all Information Technology (IT) projects, successful implementation of an eDRMS requires a wide program of activities that are not solely focused on implementation of the technology system alone. This Guideline has been developed to assist public authorities to plan for the introduction of an eDRMS. It highlights some of the recommended tools and environments that should be in place prior to implementation. It also outlines a number of the key non-technical issues that should be explored and undertaken prior to system deployment. The Glossary in Appendix A provides clarification and definitions of the terms used in this document.
1.2. Audience
The primary audience for this document is Chief Information Officers and other Senior Information Management and IT Managers implementing or considering the implementation of eDRMS within Queensland public authorities, as defined in the Public Records Act 2002.
1.3. Authority
The State Archivist has issued this Guideline in accordance with section 25(1)(f) of the Public Records Act 2002 (the Act). QSA is responsible for the provision of policy advice relating to a wide range of strategic information management and recordkeeping issues for Queensland public authorities. This Guideline forms one part of a wider policy framework that aims to promote best practice recordkeeping and information management in Queensland public authorities.
Version 1.1 August 2010
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1.4. Scope
This Guideline focuses on pre-implementation records management related matters for public authorities planning to introduce an eDRMS. The matters highlighted are not exhaustive, but draw attention to some of the key considerations prior to implementation. Links to additional resources are provided. Out of Scope The procurement and implementation of eDRMS software is not covered in this Guideline. Detailed advice on the migration of records and the integration of eDRMS and business systems is out of scope, as are linkages with enterprise content management systems.
1.5. Definitions
eDRMS-related terms are explained at the end of this Guideline in Appendix A Glossary. Further records and information management-specific terms are defined in Queensland State Archives Glossary of Archival and Recordkeeping Terms available on Queensland State Archives website.1
1.6. Acknowledgements
The contributions made in the development of this Guideline by representatives from the Department of Education, Training and the Arts, CorpTech, Maroochy Shire Council, Department of Communities and Disability Services, Department of Public Works, Department of Housing, Forestry Plantations Queensland and the Department of the Premier and Cabinet are acknowledged.
Queensland State Archives (August 2009) Glossary of Archival and Recordkeeping Terms Version 2.1. Available at http://www.archives.qld.gov.au/downloads/GlossaryOfArchival RKTerms.pdf
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2. What is an eDRMS?
Organisations generally have a records management software application to manage their hard copy files and records. Increasingly, organisations are implementing eDRMS to facilitate the management of electronic records within the organisation, along with hard copy records. In an eDRMS, records management functionality controls the access and retention of records according to implemented business rules and classification.2 An eDRMS can manage the entire lifecycle of records, from creation through to disposal, and allows for the implementation of records management tools such as a Business Classification Scheme and Retention and Disposal Schedule. As the name suggests, the functions of an eDRMS include both document management and records management, providing a solution which manages both needs in the one system. While various eDRMS software products may take different approaches to integrating the electronic management of documents and records within the system, there are conceptual differences between the functions of document management and records management. Some key distinctions between electronic document and electronic records management functions are outlined below: Document Management Documents refer to unstructured or semi-structured information such as word processing documents, spreadsheets, multimedia materials, emails, scanned documents and images. To improve accessibility to and sharing of the information and knowledge within the documents. Version control and checking-in and out of documents to undertake revisions. Activities to enable collaboration between users in the development of documents, such as workflow. Records Management Records refer to material in any format that provides evidence of business activities.
Scope
Driver for management
Key activities
To maintain and preserve the content, context and structure of records over their required retention period. Records are locked or fixed as a representation of the business activity. Classification of records into a functional Business Classification Scheme which provides context to the record.
Records may be classified for various purposes. For example: they can be classified to identify the security status of a record, such as Highly Protected; or against a Business Classification Scheme, to provide context for the record through identifying the business function to which it relates.
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Capture of recordkeeping metadata to provide evidence of the authenticity of the record over time. Disposal of records in accordance with an authorised Retention and Disposal Schedule.
These distinctions are highlighted because some eDRMS software products may have strengths in document management capability over records management. It is important to ensure the selected eDRMS product has adequate records management functionality to be able to ensure the capture and maintenance of full and accurate records in any format. An increasing number of public authorities are using emerging technologies such as SMS, Instant Messaging, and Web 2.0 applications to conduct government business. Agencies are encouraged to consider eDRMS capabilities to capture these formats as records when documenting their requirements.
2.1. Examples of Generic Functional Requirements for an eDRMS

A number of organisations have released generic requirements for electronic records management systems. While these may not encompass the document management functionality outlined in the table above, they are useful resources to understand the records management functionality of an eDRMS. International Council on Archives Guidelines and Functional Requirements for Electronic Records Management Systems http://www.ica.org/sites/default/files/ICA-Guidelinesprinciples%20and%20Functional%20Requirements%20Module%202.pdf This document lists core, high-level and generic requirements for electronic records management systems. It was developed by the International Council on Archives in an effort to develop a harmonised, generic set of international recordkeeping functional requirements for software products based on existing jurisdiction-specific specifications. National Archives of Australia Specifications for Electronic Records Management Systems Software http://www.naa.gov.au/records-management/publications/ERMS-specs.aspx This is a generic set of requirements for ensuring adequate recordkeeping functionality in electronic records management systems software in Commonwealth agencies. The specifications are complemented by a Guideline: http://www.naa.gov.au/records-management/publications/ERMSguidelines.aspx
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European Commission Model Requirements for Electronic Records Management specification (MoReq2) http://www.moreq2.eu/downloads.htm The MoReq2 Specification details requirements for Electronic Records Management Systems and was produced by Cornwell Management Consultants/Serco Consulting. It was funded by the European Commission and builds on the earlier MoReq Specification which was published in 2001. Department of Defense, United States of America Design Criteria Standard for Electronic Records Management Software Applications, DoD 5015.2-STD http://jitc.fhu.disa.mil/recmgt/standards.html This is a baseline standard developed specifically for the United States Department of Defense. It has been endorsed by the National Archives and Records Administration (NARA) of America as a starting point for agencies to develop system requirements. The standard is supported by a program for compliance testing of software products: http://jitc.fhu.disa.mil/recmgt/
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3. Records management prerequisites for an eDRMS implementation

A number of initiatives should be undertaken prior to the implementation of an eDRMS. Having the following records management foundations in place will help to facilitate change management and the adoption of the eDRMS by users, thereby increasing the likelihood of success of the project. Because the following initiatives constitute significant projects in their own right, it is recommended that public authorities take care to consider the program of work that is required to develop these prerequisites, scope the timing and phasing accordingly, and adopt a program and project management framework. These prerequisites will require ongoing maintenance as business functions change, new staff appointed, and new internal and external standards and best practice guidance for records management are developed.
3.1. Organisational information management and records management strategies, standards, policies and procedures
Strategies, standards, policies and procedures for the management of information and records, endorsed by the Senior Executive, must be in place for the implementation of an eDRMS to be effective. This should include policies for digitisation, information security classification and access rights so that records can be appropriately and securely managed within the eDRMS. These foundation documents will guide the business rules and configuration choices when implementing an eDRMS. Tips Developing organisational information and records management standards, policies and procedures is an iterative process. They may need to be revised to take into account configuration and process decisions made during implementation of the eDRMS. The requirement to adhere to standards, policies and procedures for recordkeeping could be included in organisational position descriptions, performance and operational plans, code of conduct training and other similar employee initiatives.
Useful Resources Queensland State Archives, Information Standard 40: Recordkeeping http://www.qgcio.qld.gov.au/qgcio/architectureandstandards/informati onstandards/current/Pages/Recordkeeping.aspx Queensland State Archives, Guideline for Recordkeeping http://www.archives.qld.gov.au/downloads/QGEAGuidelineforrecordk eepingQSA1.0.0.pdf
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Queensland State Archives, IS40 Self-Assessment Checklist and Guideline o IS40 Compliance Guideline http://www.archives.qld.gov.au/downloads/IS40ComplianceGu idelineNov2006.pdf
IS40 Compliance Checklist http://www.archives.qld.gov.au/downloads/IS40ComplianceChecklist Nov2006.doc o IS40 Compliance Attachments http://www.archives.qld.gov.au/downloads/IS40ComplianceAtt achmentsNov2006.pdf
Queensland State Archives, Digitisation Disposal Policy http://www.archives.qld.gov.au/government/ddp.asp State Records of South Australia, Adequate Records Management in Perspective - Records Management Policies, Procedures & Practices http://www.archives.sa.gov.au/files/management_ARM_policies.pdf National Archives of Australia, How to Develop a Recordkeeping Policy http://www.naa.gov.au/records-management/publications/RKpolicy.aspx Queensland Government Chief Information Office, Queensland Government Information Security Classification Framework http://www.qgcio.qld.gov.au/qgcio/architectureandstandards/Pages/s ecurity.aspx
3.2. Recordkeeping awareness and culture

The development of records and information management policies and procedures alone will not automatically mean that all staff are aware of their existence or will actively adhere to them. An effective recordkeeping culture is one in which there is an understanding and appreciation of the value of making, keeping and managing full and accurate records. In organisations where an effective recordkeeping culture prevails, the fundamental recordkeeping principles and standards outlined within the organisational policies become increasingly intrinsic to work practices at all levels. The introduction of an eDRMS into an organisation for the first time can be challenging for end users. Because registering records and placing them in the correct file is usually devolved to end users in an eDRMS environment, having an appropriate level of recordkeeping culture in place prior to implementation is important.
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Tip A Communications Plan and Stakeholder Management Strategy will be useful tools for developing a recordkeeping culture. It will be important to take an approach which not only focuses on growing awareness and capability, but also on gaining commitment and sustaining the change. It is important to include users and other stakeholders in consultation exercises. An effective recordkeeping culture can be developed through strategies that address: Awareness for example through provision of information at team meetings Attitude for example through establishment of a temporary change management officer to actively assist staff with change strategies, and Skill levels for example through provision of a range of training opportunities so that there is a basic understanding of records management fundamentals, the Business Classification Scheme and Retention and Disposal Schedule.
Useful Resource Queensland State Archives, Operational Recordkeeping Implementation Plan Workbook: A Workbook to assist State and Local Government in Queensland develop Operational Recordkeeping Implementation Plans (Section 2.5: Developing a Recordkeeping Culture) http://www.archives.qld.gov.au/forms_templates/ORIPworkbookv01.doc
3.3. A functional Business Classification Scheme

A functional Business Classification Scheme (BCS) is a tool that describes the functions and activities of an agency, derived from an analysis of business activity. Different eDRMS products may implement the BCS in different ways, through components such as file or record plans or thesauri. However, the characteristic features of a BCS are that it contains terms and scope notes that represent and describe functions, activities, transactions or other elements which encapsulate the nature of the business and shows their interrelationships. The structure of the scheme is hierarchical, moving from the general to the specific.3 A functional classification scheme facilitates the management of records. It is a tool that can also help with the identification of vital records and, when linked with the Retention and Disposal Schedule, the management and disposal of records. Depending on configuration decisions, general users may be required to directly interact with the classification scheme in the eDRMS. Where this is the case, prior
3
Adapted by QSA from National Archives of Australia, DIRKS Glossary. QSA (2004) Glossary of Archival and Recordkeeping Terms http://www.archives.qld.gov.au/downloads/GlossaryOfArchivalRKTerms.pdf
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familiarity with the scheme may help to reduce the risks associated with change management and adoption of the eDRMS. Keyword AAA is a functional classification scheme consisting of terms for functions and activities common across the public sector, and is available free of charge to State Government public authorities. Developed by the State Records Authority of New South Wales, it may be used as a basis for developing an agencys classification scheme for controlling and disposing of public records. Keyword for Councils is a similar scheme for local government. Contact Queensland State Archives on info@archives.qld.gov.au or phone (07) 3131 7777 for further information regarding licensing and obtaining copies of these classification schemes. Tips On occasion it may be challenging for some end users to understand and use a functional classification scheme, particularly when trying to classify records associated with a project. There are various options for the classification of project management records, and these are explored in the Public Records Brief: Classification of Project Management Records http://www.archives.qld.gov.au/publications/PublicRecordsBriefs/Proj ect%20mgt%20classification.pdf Having highly-trained or power users familiar with the Business Classification Scheme to whom general users can refer may be a useful way of propagating use of the BCS within the organisation.
Useful Resources Queensland State Archives, Public Records Alert: Business Classification Schemes and Thesauri http://www.archives.qld.gov.au/publications/PublicRecordsBriefs/bus _class_schemes_thesauri_200505.pdf Queensland State Archives, Public Records Brief: Functional vs. Subject Based Classification http://www.archives.qld.gov.au/publications/PublicRecordsBriefs/func tional_vs_subject-based_classification.pdf The process of functional analysis is described in the Australian Standard 50902003: Work process analysis for recordkeeping The process of analysing the functions and activities of an organisation is also described in the Designing and Implementing Recordkeeping Systems (DIRKS) methodology, in particular, Step B: o National Archives of Australia, The DIRKS Manual: A Strategic Approach to Managing Business Information. http://www.naa.gov.au/recordsmanagement/publications/DIRKS-manual.aspx o State Records Authority of NSW, Strategies for Documenting
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Government Business: The DIRKS Manual. http://www.records.nsw.gov.au/recordkeeping/dirks/dirksmanual For information on developing a thesaurus for records titling, after identifying functions and activities, see: o State Records Authority of NSW, Guideline 15: Developing and Implementing a Keyword Thesaurus. http://www.records.nsw.gov.au/recordkeeping/governmentrecordkeeping-manual/guidance/guidelines/guideline15/?searchterm=guideline%2015%20keyword For information on using and implementing Keyword AAA or Keyword for Councils, see: o Queensland State Archives, Using Keyword AAA: A Guideline for Queensland State Government Agencies, Statutory Authorities and Government Owned Corporations. http://www.archives.qld.gov.au/downloads/KAAAGuide.pdf Queensland State Archives, Using Keyword for Councils: A Guideline for Queensland Local Government Authorities. http://www.archives.qld.gov.au/downloads/KFCGuide.pdf
3.4. An authorised Retention and Disposal Schedule

The Public Records Act 2002 prohibits the disposal of public records without the permission of the State Archivist. This permission is given through authorised Retention and Disposal Schedules. Having an authorised Retention and Disposal Schedule in place prior to an eDRMS implementation is important. The Schedule provides identification of temporary records, which can be destroyed once their retention period expires, and records of permanent retention value. With an authorised Retention and Disposal Schedule, agencies are able to sentence records and lawfully dispose of public records once their retention periods have expired.4 Undertaking a sentencing project prior to an eDRMS implementation enables public authorities to lawfully dispose of public records when retention periods have expired, and may reduce the effort and expense associated with the migration of records to the new system.
Sentencing is the process of identifying which disposal class a record belongs to and applying the disposal action to the record specified in the authorised, relevant Retention and Disposal Schedule. It is a process that requires consideration of the value of the records in the context of their actual or potential business use beyond the prescribed and authorised retention period. Sentencing should involve at least three stages: assigning, reviewing, and final disposal.
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Tip The length of time of a project to develop a Retention and Disposal Schedule will depend on the size of the public authority, how many functions it undertakes, decisions on the scope of the project, and the available resources. For large organisations it may take more than a year and require a small team of staff to identify and appraise all current and legacy records. Queensland State Archives provides advice on the development of Retention and Disposal Schedules. Useful Resources Queensland State Archives, Information Standard 31: Retention and Disposal of Public Records http://www.qgcio.qld.gov.au/qgcio/architectureandstandards/informati onstandards/current/Pages/Retention%20and%20Disposal%20of%2 0Public%20Records.aspx Queensland State Archives, Guideline for the Development of Retention and Disposal Schedules http://www.archives.qld.gov.au/government/appraisal.asp#guideline Queensland State Archives, Public Records Brief: Developing Retention and Disposal Schedules Identifying & Mapping Legislative Recordkeeping Requirements http://www.archives.qld.gov.au/publications/PublicRecordsBriefs/dev eloping_retention_disposal_schedules.pdf Queensland State Archives, Guideline for the Implementation of Retention and Disposal Schedules http://www.archives.qld.gov.au/downloads/implementation_guideline. pdf Queensland State Archives, Public Records Brief: Implementing Retention and Disposal Schedules What is sentencing? http://www.archives.qld.gov.au/publications/PublicRecordsBriefs/Wh at_is_Sentencing.pdf Queensland State Archives, Sector-specific and General Retention and Disposal Schedules http://www.archives.qld.gov.au/government/disposal.asp
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3.5. Recordkeeping metadata

Metadata is most commonly defined as data about data. In a broader sense, metadata is descriptive data about an information resource, such as images, sounds or electronic and hard copy records and documents. Metadata allows users to find the data or information they are looking for and determine if it meets their needs. There are different types of metadata. One particularly important type for an eDRMS implementation is recordkeeping metadata. Recordkeeping metadata is data describing the context, content and structure of records and their management through time.5 It can be used to identify, authenticate and contextualise records; and the people, processes and systems that create, manage, maintain and use them.6 Recordkeeping metadata is the information about each record, captured in the eDRMS, which enables the record to be identified and managed. Metadata is therefore an essential component of an eDRMS. Most eDRMS systems enable administrators to configure and specify the capture of optional and mandatory metadata. This includes metadata that can be automatically captured by the system, metadata that is entered by users when saving records and additional metadata that is entered by records managers over the life of the record. It can also be possible to specify different metadata to be captured for different types of records. Therefore, prior to the implementation of an eDRMS, it is essential to consider what metadata will be required and how the metadata will be captured and managed. It will also be necessary to identify the schemes (or controlled vocabularies) that will be used to populate the information for each identified metadata element. For example, use of the Queensland Information Security Classification Framework to populate the security classification element. Queensland State Archives Queensland Recordkeeping Metadata Standard and Guideline provides advice to public authorities on the metadata required to appropriately identify and manage records over time. This Standard specifies minimum mandatory information that must be captured to ensure authenticity, and a range of optional elements. It also includes a number of recommended schemes and advice on implementing recordkeeping metadata.
Tip It is usually possible to automatically, rather than manually, capture a range of metadata in an eDRMS. When selecting an eDRMS, it is important to investigate what metadata the system will capture and how. In particular, it is desirable to automate metadata capture as much as possible to reduce the amount of manual entry required.
Standards Australia (2002) AS ISO 15489.1-2002 Information and Documentation: Records Management section 4. National Archives of Australia, Glossary of Recordkeeping Terminology. Available at http://www.naa.gov.au/records-management/glossary/index.aspx
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Useful Resources Queensland State Archives, Queensland Recordkeeping Metadata Standard and Guideline www.archives.qld.gov.au/downloads/QRKMS.pdf Queensland State Archives, Public Records Brief: Understanding and Applying Recordkeeping Metadata www.archives.qld.gov.au/publications/PublicRecordsBriefs/metadataintro.pdf Queensland State Archives, Public Records Brief: Queensland Recordkeeping Metadata Standard and Guideline: an overview www.archives.qld.gov.au/publications/PublicRecordsBriefs/QRKMSoverview.pdf Queensland State Archives, Public Records Brief: Transitioning to the Queensland Recordkeeping Metadata Standard www.archives.qld.gov.au/publications/PublicRecordsBriefs/QRKMStransition.pdf Queensland State Archives, Public Records Brief: Recordkeeping Metadata and Information Standard 34: Metadata www.archives.qld.gov.au/publications/PublicRecordsBriefs/metadataIS34.pdf Queensland Government Chief Information Office, Information Standard 34: Metadata http://www.qgcio.qld.gov.au/qgcio/architectureandstandards/informationstandard s/current/Pages/Metadata.aspx
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4. Key issues when planning eDRMS implementation7

The decision to implement an eDRMS can be driven by a range of factors. These may include the need to improve efficiency, administration, customer service and compliance with standards or legislation. Implementing eDRMS software alone will not result in the realisation of the identified benefits, nor provide a solution to all of the document management and recordkeeping issues facing an organisation. Alignment between the business needs and strategic direction, the people, the processes and the technology is critical. Adequate resources to provide support to staff and effectively manage the change are vital, particularly where an eDRMS is being implemented for the first time within an agency. Careful attention to the following nine points will help maximise the success of an eDRMS project. The Queensland Government is committed to improving its delivery of services and initiatives through the implementation of clearly defined, standardised better practice methodologies. The following methodologies are particularly relevant to the selection and implementation of eDRMS: Project Management Benefits Management Business Process Management ICT Planning8
4.1. Business need and benefits

A documented business case will help enable senior management to decide whether to support the proposed project, before significant resources are committed to its development. This business case will also guide the project over time. The core of a business case is an assessment of the need, objectives, costs and benefits of proceeding with a project. Along with the business case, the development of a Benefits Management Plan will outline measurable benefits. This will require an initial quantification to be taken as a baseline measure. Responsibility for managing the delivery of each benefit should be assigned to appropriate staff. Responsibility for overseeing and coordinating the delivery of all benefits should also be assigned. These roles may be separate to the Project Manager, who is typically focused on the delivery of the project to agreed budgets and timeframes.
7
Implementation issues and guiding principles to inform the development of information systems that create and maintain electronic records are also identified in the International Council on Archives Principles and Functional Requirements for Records in Electronic Office Environments - Overview and Statement of Principles. This document is available from the International Council on Archives website at http://www.ica.org/sites/default/files/ICA%20Overviewprinciples%20and%20Functional%20Requirements%20Module%201.pdf http://methodologies.govnet.qld.gov.au/Pages/default.aspx
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The Queensland Government Benefits Management framework outlines benefits management processes, identifies roles and responsibilities, and establishes links with the Queensland Government Project, Program and Portfolio Management Methodologies.9 For further information on the benefits of implementing an eDRMS, refer to Queensland State Archives Public Records Brief Realising the Benefits of implementing an eDRMS.10
4.2. Scope of the program

As an eDRMS implementation is complex and has the potential to touch on all facets of an organisations business, the project scope must be controlled and clearly communicated to avoid the project running over time, increasing in cost or resources and/or failing to deliver on stated benefits. To effectively scope the project, an agency may consider: What business processes and business units will be involved or impacted. Understanding and developing business processes may require extensive analysis and consultation. Systems with which the eDRMS will integrate. Business systems are used by organisations to facilitate the transaction of business activities, and can therefore generate records. To effectively manage these records, agencies may choose to interface or integrate them with an eDRMS, rather than designing recordkeeping functionality into the systems. For further information on records in business systems, refer to the Guidelines and Functional Requirements for Records in Business Systems.11 Extent of, and approach to, procurement, for example, software, hardware, development services, training services. Range of legacy systems, shared drives and other data stores from which data may be migrated and the scope of an associated quality assurance program. Preparation for and undertaking data migration may involve substantial effort and resources. Approach to rollout that will best suit the organisational environment, for example, a pilot, a gradual rollout, or direct changeover (big bang). Scope and approach to testing, reviewing and evaluating the implementation.
Some project methodologies include staged implementations which further break down the scope of projects into smaller, more controlled activities which can be more suitable for larger organisations with more complex requirements. It is important to have a formal change control process identified and established in order to manage any changes to the project scope.
http://methodologies.govnet.qld.gov.au/Methodology/BenefitsManagement/Pages/default.aspx http://www.archives.qld.gov.au/publications/PublicRecordsBriefs/eDRMSbenefits.pdf 11 http://www.ica.org/sites/default/files/ICA-GuidelinesPrinciples%20and%20Functional%20Requirements%20Module%203.pdf

10
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4.3. Senior sponsorship and clearly defined roles and responsibilities

Ensuring the project has the support of the Chief Executive Officer, and establishing and retaining genuine senior management sponsorship and leadership for the project, is essential. This support is indispensable to promote and champion the project. A framework should be established to provide appropriate direction and governance for the project, incorporating the project sponsor and a project steering committee (or equivalent). For a successful project outcome, it is necessary to carefully identify and communicate the roles and responsibilities for a multidisciplinary project team. The planning should also consider the impacts on staff that are outside of, but expected to work with, the project team. Roles may be required for: governance project management risk management finance legal audit IT contract management information management records management frontline users benefit management change management communications security testing service support training, and business continuity / disaster recovery.
Each project team member (including the project manager) should be clearly aware of their responsibilities in relation to official project resources such as project plans, schedules or reporting tools.
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Having a multidisciplinary team means it is important to have consensus and awareness about the project objectives, deliverables and benefits. A common understanding of terminology is also critical, particularly given that some records management and information technology terms may be understood in different ways by different groups. It is important to ensure project staff have sufficient workload capacity and skills to be able to do the work and to secure their time and commitment. For further information on responsibilities, refer to Queensland State Archives Public Records Brief: Responsibilities required for planning, implementing and operating an eDRMS.12
4.4. Selecting the right software product

The decision regarding which eDRMS product to select must be driven by the organisations needs and closely linked to the business benefits. A specification will generally be developed which identifies the functionality and requirements of the agency. The Queensland Government ICT Planning Methodology has been developed to enable Queensland Government agencies to optimise and align their ICT activities and initiatives with agency and whole-of-Government business direction. Clearly defined processes complement existing strategic, business and ICT planning activities of agencies. The methodology is scalable and can be applied to planning units ranging from whole of agency to a single business area.13 eDRMS encompass the two functions of document management and records management. Software products may have different strengths in each of these functions and therefore it is important to be aware of this and have a clear understanding of the business needs in order to be able to select an appropriate software solution (see section 2). Information from technology research groups such as Gartner, Forrester Research, and others, may be useful to identify strengths and weaknesses of available products.14 Some public authorities may have access to established contracts or panel arrangements whereby products have already been assessed as meeting certain requirements. For example, local governments have access to the Local Government Association of Queenslands Local Buy service15, and State Government agencies can access a limited range of products available under existing contracts.16 Prior to the formal evaluation of the products, the evaluation criteria and their weighted value must be identified and agreed. It is important to ensure the total cost of ownership (including support, maintenance and hardware) is clearly understood and opportunities to conduct reference site visits, demonstrations, bench testing and proof of concepts to substantiate vendor responses are considered.
12
http://www.archives.qld.gov.au/publications/PublicRecordsBriefs/Responsibilities_required_for_eDR MS.pdf 13 http://methodologies.govnet.qld.gov.au/Methodology/ICTPlanning/Pages/default.aspx 14 http://www.gartner.com/ and http://www.forrester.com/rb/research 15 Details of the Local Buy panel are at http://www.localbuy.net.au/Contracts.htm 16 Please refer to the Queensland Government Chief Procurement Office for further information.
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When evaluating a product awareness of the functionality that comes as standard (or as core) to the software and the functionality that may need to be further developed in order to meet the organisations specification/requirements is an important issue. It is also important to note that some, but not all, eDRMS software products are able to maintain a Business Classification Scheme and Retention and Disposal Schedule within the system. Where they do not, a third party product may be required for such maintenance.
4.5. Project approach

There are many methodologies that can be used to assist with an electronic document and records management system. A good project management methodology will guide the project through a controlled, well managed, visible set of activities to achieve the desired results. An overall project management approach which suits the specific needs of the organisation should be selected. Some public authorities may have organisational or sector-specific methodologies which they must follow.17 The Queensland Government Project Management Methodology is based on the PRINCE2 (PRojects IN Controlled Environments) methodology, which is comprised of Process and Components supported by Techniques, Products and Roles. It provides principles of good project management to avoid project failures. Other methodologies for consideration are: PMBOK Project Management Body of Knowledge is a process-based methodology and international standard which provides the principles of project management irrespective of the type of project. DIRKS A Strategic Approach to Managing Business Information.18 Provides an eight-step methodology for the design, development and implementation of recordkeeping systems and tools. DIRKS needs to be tailored to fit with the overall project management methodology that is employed by the organisation.
4.6. Stakeholder engagement and change management

Stakeholders include all personnel directly or indirectly affected by the implementation of the eDRMS. Stakeholder management is paramount to the success of the eDRMS project. An effective and thorough communication plan should be developed and made available to all stakeholders. The communication plan should identify the key messages, the stakeholders, methods of communication and provisions for feedback. Groups of stakeholders may include users, power users, champions, senior management, implementation partners and vendors.
17
In line with the Service Delivery and Performance Commissions Review of ICT Governance in the Queensland Government, PRINCE2 has been adopted as a standard methodology for all Queensland Government State Departments. 18 www.naa.gov.au/records-management/publications/DIRKS-manual.aspx
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Methods for actively engaging stakeholders in the project and the development of the system should be identified. Within the communication plans, a consultation framework may be adopted, identifying how stakeholders will be able to provide feedback or raise issues relating to the project, and how the business rules, configuration choices, processes, requirements and design will be agreed and signed-off. For many organisations, implementing an eDRMS brings with it a great amount of change to business processes, systems and day-to-day work for all employees. Developing and implementing a change management strategy and plan will assist all affected employees to understand and take ownership of their changing environment. The change management plan should explore strategies for raising awareness of the change, encouraging engagement and participation in the change, providing knowledge on how to change, and supporting and sustaining the change.
4.7. eDRMS policies, procedures, rules and requirements

The implementation of an eDRMS will require the need to develop and implement a range of documented policies and procedures in line with organisational information management and records management standards (see Section 3.1). These may encompass: information for employees on how to use the system, for example, user manuals and procedures. business rules - decisions about many aspects of system use, including roles and responsibilities, the particular data to be captured, and ongoing management. These rules will help inform system configuration. security models for ensuring records are secure and only accessible to authorised staff. the configuration of the system. Information on the system settings which facilitate the correct functionality of the system according to stated business requirements.
4.8. Training
A training needs analysis is essential for understanding the training needs for business, support and technical staff. This will assist to identify the skill levels of employees in current systems and processes, and will provide an indication of the amount of training required for a successful eDRMS implementation to occur. A training program and plan should be developed to include information such as: groups that will require different training content training methods and mechanisms that will be employed for each of these groups, and the technical environment that will be used to conduct the training.
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Consideration should also be given to whether the training can focus on use of the system, or also needs to include fundamentals such as what is a record, and what needs to be captured in the system.
4.9. Beyond implementation

While the focus when planning for the implementation of an eDRMS may be selection and deployment, it is also important to consider requirements for the ongoing support and operation of the system once implemented. A model for how the system will be supported will need to be considered as part of the project planning, both for queries or problems raised by staff that are of a business nature, and those that are of a technical nature. Once operational, procedures for quality assurance of data entry and strategies for ongoing awareness and technical maintenance will need to be implemented. For example, a strategy may be to incorporate basic training into the induction program for new staff or to monitor the uptake of the system to identify areas of use and nonuse to target extra training and education opportunities. Organisational information management and records management standards, policies and procedures may need to be revised to take into account the practices within the eDRMS. Once operational, there are also likely to be requests for further developments or enhancements of the system to meet emerging business needs, for example, integration with new systems. The model for how such requests will be managed and implemented will need to be considered. The Information Technology Infrastructure Library (ITIL)19 provides best practice guidance to support the service lifecycle. It is a framework for IT service management and covers areas such as service delivery, problem management, change and configuration management and continual process improvement. Planning for and undertaking a post-implementation review of the project will help to identify lessons learnt which can be applied to other projects within an agency. It can also highlight and recommend potential new projects required as a result of the implementation. It is also important to work with those responsible for enterprise architecture within the organisation to ensure the eDRMS continues to be best utilised and positioned to support the management of records from across the organisation. This is particularly important when new business systems that generate records are procured or built for the organisation.
19
http://www.ogc.gov.uk/itil
For more detailed guidance on the management of public records visit the Queensland State Archives website at www.archives.qld.gov.au or contact us on: Telephone: (07) 3131 7777 or Email: info@archives.qld.gov.au
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5. Appendix A: Glossary
The following key terms have been taken from QSAs Glossary of Archival and Recordkeeping Terms. For further definitions, please refer to: http://www.archives.qld.gov.au/downloads/GlossaryOfArchivalRKTerms.pdf Business Classification Scheme The functions and activities of the agency derived from the analysis of business activity, containing terms and scope notes that represent and describe functions, activities, transactions or other elements and shows their relationships. The structure of the scheme is hierarchical, moving from the general to the specific. Recorded information or object which can be treated as a unit. Some documents are records because they have been part of a business transaction, or were created to document such a transaction. Conversely, some documents are not records because they do not function as evidence of a business transaction. Electronic records File Records created, communicated, stored and maintained by means of electronic or computer equipment. An organised aggregation of records grouped and managed as a discrete object because they deal with the same activity or transaction. A file can be physical or electronic. Information created, received and maintained as evidence and information by an agency or person, in pursuance of legal obligations or in the transaction of business. Recorded information, in any form, including data in computer systems, created or received and maintained by an agency or person in the transaction of business or the conduct of affairs and kept as evidence of such activity. Records are information objects that document business activities and transactions. To be regarded as evidence, a record must be complete. Complete records comprise contextual and structural data as well as content data. a) Contextual data is information about the creation and use of the data. The context refers to the business function and activity in the course of which the record is created. Contextual data is concerned with the who, what, where, when and how of the creation and management of the information object. Contextual data may be intrinsic or extrinsic to the information object. b) Structural data includes formal internal structures of the information object and the structural relations between records in an electronic record that are used by the interaction of software and hardware to constitute the equivalent of the physical record in the paper environment. Structural data maybe intrinsic or extrinsic to the information
Document
Record
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object. c) Content data is the information contained within the information object. The content is intrinsic to the information object and is what the record is about. Records lifecycle The stages through which a record is said to pass during its life such as: a) Creation b) Distribution c) Use d) Maintenance e) Storage, and f) Disposal. Retention and A document issued by the State Archivist authorising the disposal of Disposal public records. It defines the temporary or permanent status, Schedule retention periods and consequent disposal actions authorised for classes of records described in the Schedule. There are two main types of Schedules: a) Functional Retention and Disposal Schedules authorise the retention and disposal of records unique to a specific agency. b) General Retention and Disposal Schedules authorise the retention and disposal of records common to more than one agency. Such records may include: i) general administrative records ii) common records that relate to unique functions, and records relating to the unique functions of like agencies.
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What is an eDRMS? .......................................................................................... 4

Records management prerequisites for an eDRMS implementation ........... 7

Key issues when planning eDRMS implementation .................................... 15

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Driver for management

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2.1. Examples of Generic Functional Requirements for an eDRMS

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3. Records management prerequisites for an eDRMS implementation

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3.2. Recordkeeping awareness and culture

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3.3. A functional Business Classification Scheme

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3.4. An authorised Retention and Disposal Schedule

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3.5. Recordkeeping metadata

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4. Key issues when planning eDRMS implementation7

4.1. Business need and benefits

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4.2. Scope of the program

http://methodologies.govnet.qld.gov.au/Methodology/BenefitsManagement/Pages/default.aspx http://www.archives.qld.gov.au/publications/PublicRecordsBriefs/eDRMSbenefits.pdf 11 http://www.ica.org/sites/default/files/ICA-GuidelinesPrinciples%20and%20Functional%20Requirements%20Module%203.pdf

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4.3. Senior sponsorship and clearly defined roles and responsibilities

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4.4. Selecting the right software product

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4.5. Project approach

4.6. Stakeholder engagement and change management

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4.7. eDRMS policies, procedures, rules and requirements

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4.9. Beyond implementation

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